Partnership Compliance Consultant
ComplyUnited States
Posted November 20, 2024
110000 - 130000 USD year
Full Time
About the Company
COMPLY is a leading provider of compliance solutions for financial services firms. Through technology, consulting, and education, they help clients navigate complex regulatory environments, including SEC, FINRA, FCA, and state regulations. With expertise in technology enablement and compliance protocols, COMPLY supports over 5,000 clients globally across investment banks, private funds, broker-dealers, and more.
Job Description
Comply is seeking a polished and accomplished Partnership Compliance Consultant to join their growing team. The role involves providing consulting services on regulatory matters, drafting disclosures, reviewing marketing materials, conducting compliance reviews, and creating reports of findings. The company focuses on providing comprehensive regulatory compliance software and solutions for the financial services sector.
Requirements
- Law or financial degree and/or equivalent compliance experience
- Knowledge of Investment Advisers Act of 1940 and SEC rules.
- Excellent interpersonal and analytical skills
- Ability to travel onsite
- Proficiency in Microsoft Office Suite
Benefits
- Competitive salary
